Douglas R. Woods

HORNOR, TOWNSEND & KENT

Conshohocken, PA 19428

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CRD#: 2321565

Professional summary

Douglas Randolph Woods is a registered financial professional currently at HORNOR, TOWNSEND & KENT, LLC located in Conshohocken, Pennsylvania.

Douglas is registered as a RR (Registered Representative) and started their career in finance in 1993. Douglas has worked at 14 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Douglas Randolph Woods's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 11, 2025 - Present

HORNOR, TOWNSEND & KENT, LLC

Office #1: 161 Washington St Suite 1111, Conshohocken, PA 19428

RIA

CRD#: 4031

Conshohocken, PA

Past

April 1, 2020 - September 2, 2025

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

Past

January 3, 2020 - April 1, 2020

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

February 26, 2019 - November 11, 2019

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

May 21, 2013 - February 26, 2019

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

HARTFORD, CT

Past

September 7, 2010 - May 22, 2013

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900

CHARLOTTE, NC

Past

May 14, 2004 - September 2, 2010

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, CT

Past

March 19, 2003 - April 20, 2004

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Past

September 17, 2001 - April 1, 2003

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

July 22, 1999 - September 6, 2001

MML DISTRIBUTORS, LLC

CRD#: 38030

SPRINGFIELD, MA

Past

November 18, 1997 - May 5, 1999

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

March 19, 1997 - September 24, 1997

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

March 19, 1997 - September 24, 1997

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

August 26, 1996 - February 28, 1997

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

May 21, 1993 - August 9, 1996

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

May 21, 1993 - August 9, 1996

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, INC. | PENN MUTUAL EQUITY SERVICES, INC. | HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031 / SEC#: 801-56151, 8-14715

RIA

Registered Investment Advisory firm - SEC (2/25/1999 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(9/11/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/24/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/20/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 1/26/2007

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, INC. | PENN MUTUAL EQUITY SERVICES, INC. | HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031 / SEC#: 801-56151, 8-14715

RIA

Registered Investment Advisory firm - SEC (2/25/1999 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

161 Washington Street Suite 1111, Conshohocken, PA 19428

Mailing Address

161 Washington Street Suite 1111, Conshohocken, PA 19428

Phone number

(215) 957-7300

Established

Delaware since 09/09/2024

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

442

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

HTK ADVISORY SERVICES DISCLOSURE BROCHURE - ADV PART 2A (8/12/2025)

HTK WRAP FEE PROGRAM BROCHURE - PART 2A APPENDIX (8/12/2025)

Direct owners and executive officers

Name	Position	CRD#
1847 FINANCIAL LLC	SHAREHOLDER
GUNZENHAUSER, RADFORD MICHAEL	FINOP	7253452
HUCKERBY, KEITH GORDON	MANAGER	2641591
MASON, ANN-MARIE	CHIEF LEGAL OFFICER AND SECRETARY	7145020
MULLER, NIKI LEE	PRINCIPAL OPERATIONS OFFICER	7364066
NAGENGAST, HEATHER JILL	PRESIDENT, MANAGER	5300554
O'MALLEY, DAVID MICHAEL	CHAIRMAN AND MANAGER	4468593
ROBINSON, VICTORIA MARIE	CHIEF COMPLIANCE OFFICER, MANAGER	4556827
WYANT, JUSTIN	MANAGER	8146157

Regulatory assets under management

Total Number of Accounts	31,522
AUM (Assets Under Management)	$ 7,753,847,039

Disclosures

Regulatory Event	11
Arbitration	6

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Douglas R. Woods

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Douglas Randolph Woods's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

PRUCO SECURITIES, LLC.

THE LEADERS GROUP, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

EQUITABLE DISTRIBUTORS, LLC

HIMCO DISTRIBUTION SERVICES COMPANY

VP DISTRIBUTORS LLC

WS GRIFFITH SECURITIES, INC.

MML DISTRIBUTORS, LLC

TOWER SQUARE SECURITIES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

NYLIFE SECURITIES LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

HORNOR, TOWNSEND & KENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/24/2012

SIE

Date: 10/1/2018

Series 6

Date: 5/20/1993

Series 26

Date: 1/26/2007

FINRA

Current Firm

HORNOR, TOWNSEND & KENT, LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

HORNOR, TOWNSEND & KENT, LLC

TRUST BUT VERIFY

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